Effective Date

This section is designed to assist the employees in the SBSE Document Matching CAWR Operations in accessing and navigating
the CAWR Automated program (CAP).

4.19.8.1.1
(04-03-2013)System Authorization and Security

Access to the CAWR Automated Program (CAP) system is restricted to authorized users. The Combined Annual Wage Reporting (CAWR) Coordinator, appropriate management official and security personnel must authorize
individual user access.

A security profile is established and maintained for each user. User may choose their own password. Each password must consist
of:

Be at least eight characters.

Contain a minimum of one alpha character upper and lower case, minimum of one numeric character, and one of the following
characters # or - (underscore) with no spaces.

Differ from the user's login (including any reverse or circular shift of the login).

Cannot be the same as previous password.

Passwords are case sensitive.

User profiles are established to allow access to the specific areas/functions of the system needed to perform your assigned
duties. Inform your manager/coordinator if you are prohibited from accessing an area of the system needed to complete an assigned
task.

The system produces audit trail information on any updates/changes made to the system. Each user must ensure only authorized
accesses are performed. Do not attempt unauthorized system queries.

To ensure the security and integrity of the CAP system:

Protect your password. Do not reveal it to anyone.

Never allow anyone access to the system using your login and password.

If you have reason to believe that your password has been compromised alert your manager immediately.

Lock your workstation when it is not in use.

Log off the system at the end of your shift.

Never leave sensitive information on the screen and leave your workstation.

Do not eat or drink near computer hardware.

Use computers and software for official purposes only.

Do not copy licensed or copyrighted software for private use. It is a violation of federal law with civil and criminal penalties.

Retrieve your hard copy prints from the printer. Give prints, remaining near or on the printer for an extended period of time,
to your manager for disposition.

4.19.8.2
(04-07-2014)Accessing Windows/CAP

Access to the CAP system requires a login and password for both Windows XP and the CAP system.

To display the Windows XP logon window depress the <CTRL><ALT><DEL> keys simultaneously. When the logon screen appears you will be required to enter your SEID (standard employee identifier)
(log in) and Password. The Domain field should already be filled in. Once you have entered the required information use your
mouse and click on "OK"
See Figure 4.19.8-1.

The first time you logon to the workstation you will use an assigned/temporary password. The system will prompt you to change
your password. Change your password using the following steps. See Figure 4.19.8-2.

Step

Action

1

Choose a new password following the guidelines provided in IRM 4.19.8.1.1 (2) above.

Note:

After selecting "1"
the CAP system logon screen will load and display:

Enter your CAP username.

Enter your CAP password.

Click on "Login"
to gain access to the system.

Various problems may occur while logging on. Correct mistakes made while entering your login and/or password by using the
<Backspace> key. The <Delete> key will not work for logging on. See Figure 4.19.8-4.

4.19.8.3.1
(04-01-2011)File Options

When you place the cursor over File option located in the upper left hand corner, left click the mouse button. A drop down
will open up that will allow the following functions. These functions are activated by either scrolling over the listed item
and clicking the left mouse button or by pressing the combination of keys on the keyboard simultaneously. Figure 4.19.8-6

The file drop down can be closed either by placing the cursor over the file option and left click the mouse or by placing
the cursor else where in the CAP database and left clicking the mouse.

4.19.8.3.2
(04-01-2011)Edit Options

When you place the cursor over Edit option and left click the mouse button, a drop down will open up that will allow the following
functions. These functions are activated by scrolling over the listed item and clicking the left mouse button. Figure 4.19.8-7.

Replies/Undeliverables Rcvd: This function is used by the clerical staff to input replies and undeliverable dates to specific
cases within the CAP database.

Change Password: This function allows a user to change their password.

CAWR Loose Form W–2: This function allows the tracking of loose Forms W-2 received in the CAWR unit.

4.19.8.3.2.2
(04-01-2011)CAWR Loose Forms W–2

When Forms W-2 are received in the CAWR unit with no additional correspondence, the CAWR Automated Program (CAP) system must
be immediately updated upon receipt to show the loose Forms W-2 are on file and need to be considered prior to any taxpayer
correspondence. Figure 4.19.8-9

4.19.8.3.2.4
(04-01-2011)New Loose Forms W-2

This responsibility may be assigned to specific users at each site. Check with your manager or lead before inputting any Loose
Forms W-2.

When adding a new loose Form W-2 record you will be required to complete the following:

EIN

Tax period

Serial #, Site, username and Created Date

Note:

These fields will auto populate based on your user profile.

Undo and Close will cancel the request.

Apply will save any new record added.

See Figure 4.19.8-11.

After inputting of a new record write the serial number on the front of the loose Forms W-2. No two serial numbers are the
same. This number is used to file the documents in sequence order at each site.

After a Loose Form W-2 record is input any subsequent cases that are loaded to the CAP database are cross checked with the
Loose Forms W-2 table. Any case that matches a Loose Forms W-2 record will get a "yellow bar across the screen of the case"
to notify the tax examiner that a Loose W-2 record exists.

Note:

The yellow bar will also display when a case has a disaster present, third party sick pay present, AUR Payer Agent Listing
present, Schedule D present.

The yellow bar will display "LOOSE W-2 "
and the associated "serial number "
. See Figure 4.19.8-12.

4.19.8.3.2.5
(04-01-2011)CAWR Schedule D

Schedule D is an attachment to the Form 941 the employer uses to report acquisitions, mergers and consolidations. When paper
Schedule D's are received in the CAWR unit with no additional correspondence, the paper Schedule D must be immediately input
to the CAWR Automated Program (CAP) system. This will cause any current or future CAWR case loaded to the CAP system to display
the presence of the Schedule D. All Schedule D information needs to be considered prior to issuing taxpayer correspondence. Figure 4.19.8-13

4.19.8.3.2.6
(04-01-2011)Inputting Paper Schedule D

This responsibility may be assigned to specific users at each site. Check with your manager or lead before inputting any paper
Schedule D's to the CAP system.

This table is designed to allow one Schedule D record to exist for a specific Form 941 EIN, tax year and Other Party EIN.
However, if tax year or other party EIN is different from the Form 941 EIN multiple records can exist.

When inputting a paper Schedule D record you will be required to complete the following: Figure 4.19.8-14.

Select New

Input Fields

Required: Form 941 EIN (Employer Identification Number)

Required: Schedule D Tax Year

Required: Trans action date: This is the effective date of the acquisition/merger or consolidation located in part 1 question
number 2 of paper Schedule D.

Required: Other Party EIN

Username will auto populate based on users creating the record.

Creation date will auto populate based on date the record is created.

Note:

If the username is "CAWR"
the record was added in an e-file tape transfer to the CAP system.

4.19.8.3.2.7
(04-01-2011)Schedule D Display

The Schedule D information is compared to any case that is loaded to the CAP database. If a Schedule D record is present the
case will display the literals "Sch D and the x-reference EIN and Schedule D count"
in the yellow bar located in the header section of the case.

If the count is greater than "1"
the user will need to access the Schedule D table to view all possible Schedule D's on file. See Figure 4.19.8–15.

4.19.8.3.3
(04-01-2011)Help Option

When the cursor is placed over the "Help Option"
and clicked with the left mouse button you will see a drop down that lists the CAWR/FUTA website. The website can be accessed
through CAP during your login session. The site can also be accessed via the internet explorer icon located on your workstations
desktop at http://wc.web.irs.gov/

Left mouse click "Help Option."

Scroll down to CAWR & FUTA web page, left mouse click and website will open and run as wallpaper in the CAP database.

Close website option.

The arrow button serve the function of forward and backward while using the website.

This button will refresh the current web page.

This button will return you to the CAWR & FUTA home page. See Figure 4.19.8-16.

4.19.8.4
(04-01-2011)CAWR Query Screen

How and when to use the CAWR Query screen depends on what phase of the program you are working. You will need to access either
your assigned batches or individual case files. There are two parts on the CAWR Query screen. They are "Query by"
and "Case fields"
. To access the CAWR Query screen either left mouse click on the Query button ( See Figure 4.19.8-5.) or press <CTRL> <Q>. Either function will open the CAWR Query screen.

Note:

After your initial login the CAWR Query screen should open automatically.

The CAWR Query screen has three main functions that are accessed by the selection of the radio buttons in the "Query by"
area of the CAWR query screen.

Selection

Function

Individual Case Query

This is used mainly when working cases after the initial screening phase.

Assigned Batch Query

This is mainly used in the initial screening phase of the program.

Last Batch Query

This is used after a batch within the assigned batch query is accessed by the user. CAP will auto populate the batch number
of the last batch the user accessed the next time the CAWR Query screen is accessed.

To perform an individual case query:

Query by: Radio button selection is always case

EIN

Tax Period (Optional)

Get records button executes the query function. See Figure 4.19.8-17.

Note:

If tax period is left blank CAP will query all records pertaining to the queried EIN.

To access assigned batches: select radio button "Assigned Batches"
, See Figure 4.19.8-17. This will automatically access the "Select Batch User Inventory Screen "
. Batches are assigned to a user by either a manager or coordinator. To open an assigned batch scroll over the batch you
want to open and left mouse click and the batch. Figure 4.19.8-18

The Select Batch Inventory Screen displays the following information: See Figure 4.19.8-18.

Username and total batches assigned

Case types assigned, by left mouse clicking on the case type this will expand to show the batches assigned, click it again
and it will hide the associated batches.

Note:

4.19.8.5
(04-01-2011)Detail Screen Header Section

After you select a batch or perform a single case query, CAP will access the information associated to the requested record(s).
When a record(s) is accessed it will automatically default to display the detail screen. Figure 4.19.8-19

Note:

The Header Section is viewable in all screens.

The "Header Section"
contains the following information:

Shows the EIN of the record you are viewing and the amount of records contained within the batch.

Displays the case EIN

Tax Period

Name Control

Case Type

Date assigned

Site ID

Note:

See Doc 6209 for a listing of site ID's.

Batch Number

Username the batch/case is assigned

"X button"
: By selecting this button you can close a query or remove a case from the assigned batch.

"Close query"
button: By selecting this button you will close the current case or batch.

The case cycling buttons are also part of the Detail Screen Header Section. Each button performs a different function. Below
is a breakdown of their functions: See Figure 4.19.8-20.

These buttons will allow a user to cycle to the first or the last record within a batch.

These button will allow a user to cycle one case within the batch forward or backwards.

Note:

These buttons would not appear when accessing a single record.

The check mark is called the Post Edit. This button is normally grayed out, but once an update is made to a case the Post
Edit will become available and has to be selected to save any changes made to a case.

The "X"
is also grayed out until an update is made to a case. This button allows the user to delete any changes made to a case
prior to selecting the Post Edit function.

4.19.8.5.1
(04-01-2011)Case Information Section

The Case Information section contains both information input by the user and information compiled by (IDRS) "Integrated Data
Retrieval System."
The information provided in this section of the Detail screen has to always be considered in the processing of a case.
Below is a list of the information available: See Figure 4.19.8-21.

Adjustment amount and modules adjusted: These fields are only completed in the reply, no reply and undeliverable phases of
the program.

Remarks field: This field will allow the user to leave up to 50 characters of case information.

X-Ref EIN field: This field is completed when a cross reference EIN is found by the user or provided by the taxpayer that
is pertinent in resolving the case.

X-Ref Social Security Number (SSN) field: This fields applies only to Schedule H filers. The function is the same as the x-ref
EIN function. The only difference is you complete this field when a cross reference SSN is found by the user or provided by
the taxpayer that is pertinent in resolving the case.

Tracking field: This field can contain up to 10 characters.

TP Contact Info Fields: These fields are used when correspondence other than the letters available through the CAP database
are issued to the taxpayer.

Note:

Any changes to the above fields will result in the post edit button in the header section of the case becoming available.
If the user doesn't select the post edit function all updated information would be deleted upon exiting the case.

TC 520 Indicator:

0 - Not Significant

1 - Litigation Instituted

3 - Both Unpostable 941 (UPC 322) and Litigation Instituted

Note:

If 1 or 3, you should check IDRS for a -V Freeze. If a -V Freeze and a TC 520 are still present, the employer has filed bankruptcy.

TC 530 Indicator:

Blank - No TC 530

1 or 2 - TC 530 Present

Collection Indicator:

0 - No Collection Issues Pending

1 -Taxpayer Delinquency Investigation (TDI) in Progress

2 - The Collection Function established a Taxpayer Delinquency Account (TDA) for a Tax Module and does not want the case

3 - Both TDI and TDA Are Present

Criminal Investigation Indicator:

0 - No Pending CI Issues

1 - CI Issue Is Pending

Exam Indicator:

0 - No Examination Issues Pending

1 - Examination Issue Is Pending

Merge Indicator:

0 - No Merge Has Taken Place

1 - Successful Merge Occurred This Cycle

2 - Partial Merge Occurred This Cycle

3 - Successful Merge Occurred Prior Cycle

4 - Partial Merge Occurred Prior Cycle

5 - Complete Merge This Cycle (The "From"
Module was active and the "To"
Module was inactive.)

Note:

Entity research is necessary to obtain data on any X-Ref EINs involved in the merge.

Consolidation Indicator:

0 - No Consolidation

1 - Pre-consolidated Record (It is an incomplete case, as all transactions have not yet posted.)

2 - Consolidation Complete (This is a valid case.)

BMF Employment Code Indicator:

Blank - Normal Business Employer

I - Indian Tribal Government or Subsidiary

S - Foreign Subsidiary

M - Maritime Industry Entities

F - Federal Employer

G - State or Local Governmental Agency

W - Section 501(c)(3) of the IRC Non-profit Organization Not Subject to FUTA Tax, but Subject to Social Security Tax

T - State or Local Government Agency Covered under a Section 218 Agreement

C - Church or Church Controlled Organization Filing Form 8274 (not subject to FICA (Social Security) or FUTA)

N - Non-profit Organization Subject to FICA (Social Security)

BOD Code Indicator: Value can be SB, LM or TE

SB - (Small Business Self Employed)

LM - (Large and International Business)

TE - (Tax Exempt Government Entities)

SSA Indicator:

Blank - (No SSA Issues)

1 - (SSA Issue Pending)

2 - (SSA Referral Case)

Note:

If SSA indicator is equal to 1 or 2 the literals "SSA CASE"
will display in the header section of the case.

Freeze Codes: See Doc 6209 for list and definitions of possible Freeze Codes.

Offer In Compromise Indicator:

0 - No Offer In Compromise

1 - Offer in Compromise Pending or Accepted

6020b Indicator:

0 - No 6020b Present

1 - 6020b Present

Note:

All indicator are uploaded to CAP from IDRS. See IRM 4.19.4 for case handling procedures.

4.19.8.5.2
(04-01-2012)Open/Closing Status Codes

Open status codes are accessed by clicking the left mouse button while your cursor is placed over the case status drop down
located in the header section of the case. Each code has a separate meaning in the processing of a case. Certain codes will
update automatically based on the action taken on the case. The table below lists all the possible open status codes and their
definitions. See Figure 4.19.8-22.

Note:

The status of a case cannot be modified unless the case is assigned to your username.

Open Status Codes

Definitions

08

Assigned SSA IND 1

09

Reserved

10

Research/Suspense Status

16, 28, 90

Correspondence Issued

21

Corr issued/Federal Entity

24, 93

Undeliverable

25, 27, 29

Compliance Referral

26

SC 91 without SSA Ind 2

37

CAWR No Reply

42

2057C Letter Issued

44, 92

Reply Received

45

Re-analysis Request

55

1534C Letter Issued

67

Reply Interim Issued

68

Late Reply Interim Issued

69

98C Letter Issued

87

SSA Ind 2 in Balance

88

Out of Balance

47

Late Reply

Closing status codes are accessed by clicking the left mouse button while your cursor is placed over the case status drop
down located in the header section of the case. The closing status code is used to update the closing of a specific case.
Each code has a separate meaning in the processing of a case. The table below lists all the possible closing status codes
and their definitions. See Figure 4.19.8-22.

Closing Status Code

Definitions

11

BMF Delete

36, 98, 99

Closed in Screening

31

Closed to Collections

32

Closed to Exam

33

Closed to CI

38

BMF Merge

91

SSA No Reply

94

SSA No Reply

95

SSA Reply Resolved

96

SSA Reply Unresolved

40

SSA Adj (PRN 549)

41

SSA Adj Bank/Defunct

39, 46

Undeliverable

34

CAWR TP/Reply Resolves

35

CAWR TP/Reply Un-resolved

30

CAWR No Reply

43

Closed/Worked Late Reply

48

IRS CAWR Agreed Assessment

49

IRS CAWR Return Secured

89

SSA 550 Penalty Assessed

Note:

Closing codes "11, 38, 91, 94, 40 and 41"
are updated automatically by CAP and should never be input manually.

4.19.8.6
(04-01-2011)CAP Screens

A normal case can contain eight separate screens of information. This can expand to nine screens if Automated Under Reporter
has provided AUR PAL information. There are two ways to access a screen. First by clicking the left mouse button on a screen
tab and second by using the shift key and the underlined character listed on the screen tab. Below is a list of the screens
and their related underlined characters. See Figure 4.19.8-23.

4.19.8.6.1
(04-01-2011)AUR PAL Screen

The AUR PAL screen will only be displayed when you are working on a case that has been put on the Payer Agent List by AUR
program. A Payer Agent is one who incorrectly reports data to the IRS or SSA. This may be because of duplicate reporting,
overstating or understating income, or some other error. Below is a list of the information displayed on the AUR PAL screen.
Figure 4.19.8-24.

EIN: This should always match the case EIN.

Tax Period: This should always match the year of the case being worked.

Document Code: An AUR Code that identifies the type of document being processed (Form W-2, 1099) or the Source Document which
caused a transaction to be generated.

4.19.8.6.2
(04-07-2014)Money Amount Screen

This screen provides wage information reported on Forms 941, 943, 944, 945 and/or Schedule H. In addition the wages/tax that
was processed by SSA via Forms W-2, Forms 1099R, and Forms W-2G processed by the Internal Revenue Service. The CAWR program
compares five main wage/tax fields. They are:

Social Security Wages

Social Security Tips

HIRE Act Exempt Wages

Medicare Wages

Federal Income Tax Withheld

Below is a listing of the fields contained on the Money Amount Screen. See Figure 4.19.8-25.

Original Amount Button: This button will allow a user to view the amounts reported after updates or changes have occurred.

Form 94X Column: This Column is a cumulation of wages/taxes reported and processed on Forms 941, 943, 944, 945 and or 1040/1041
Schedule H. The fields social security wages, social security tips, HIRE Act Exempt Wages, medicare wages, and federal income
tax can be updated in this column.

Form W-3 Column: This column is used as a tool to help identify possible processing errors within the Forms W-2.

Form W-2 Column: This column is compared to the Form 94X column to calculate wage/tax differences.

Difference Column: This column calculates the difference in "wages"
between social security wages, social security tips and medicare wages reported in the Form 94X column compared to the
Form W-2 column.

Tax Column: This column calculates the "taxes"
based on the differences reported between the Form 94X column and the Form W-2 column.

Note:

HIRE Exempt Wage fields for both the Form 94X and Forms W-2 an only be adjusted on the money screen.

Below are the tax rates CAP uses to calculate the tax displayed in the tax column.

Social Security Wages @ 12.4%

Social Security Tips @ 12.4%

HIRE Act Exempt Wages @ 6.2%

Medicare Wages @ 2.9%

Federal Income Tax @ 100%

Note:

Form W-3 and Form W-2 column will also include Federal Income Tax reported on Forms 1099R and/or Forms W-2G if present on
the case.

4.19.8.6.3
(04-01-2011)Correspondence Screen

The Correspondence Screen is used for sending appropriate type of letter from the CAP system (86C, 98C, 99C, and 2057C). You
will need to choose the appropriate letter using the drop down arrow at the bottom left hand side of the screen. See Figure 4.19.8-26.

The Correspondence Screen contains the following information:

Letter type issued

Date letter was issued

Suspense date: This is the time frame allotted for the taxpayer to respond to the letter.

No reply date: This date is automatically populated if the suspense date expires without receiving a reply from the taxpayer.

Undeliverable date: This date is populated when the original letter is received back undeliverable.

Reply date: This date is populated when the letter is received back with a response from the taxpayer.

Note:

Both the undeliverable and reply dates are populated through the clerical function. See IRM 4.19.8.3.2.

Reply Suspense date: This date is auto populated when a reply date is input.

IDRS Ref ID: ID assigned to a letter generation.

"Delete button"
: This button will allow a user to delete the letter type and issue date.

Note:

The Delete button will only delete the letter history in CAP. If the actual letter needs to be deleted use the appropriate
IDRS command code.

4.19.8.6.3.1
(04-01-2011)Issuing Correspondence

The 99CCAWR and 98CSSA are auto generated letters. Both of these letters are used in the screening phase of the program. When
99CCAWR or 98CSSA is selected from the correspondence screen CAP will update the case status code to "16"
for 99CCAWR and status code "90"
for 98CSSA requests. Once a week CAP will process all cases in status codes "16"
and "90"
and create the letters automatically. The amounts reported in the money amount screen and address information contained
in the entity screen will be used to create the letter information.

The other type of correspondence that can be requested is called "C"
letters. These letters are IDRS formatted letters and require the user to be connected to an open IDRS session for CAP
to create the letter. The 98C and 99C letter is used in the screening phase when case conditions will not allow the generation
of a 99CCAWR or 98CSSA. The 2057C letter is used in the reply and late reply phase of the program.

Prior to issuing any type of correspondence CAP will give the user the following prompts:

This prompt defaults to "No - Issue Correspondence "

If the user determines the Form W-2 information needs to be modified prior to issuing the letter then select "Yes - Use 6209"
. This will load the automated Form 6209 process.

If the user determines the Form 94X amounts need to be modified prior to issuing the letter then select "Yes - 94X Screen"
. This will automatically place the users cursor in the 94X column located on the money amount screen. See Figure 4.19.8-27.

Signature Code: Two digit code that has been established to print the signature.

"Cancel"
button will exit letter input screen; "Submit"
button processes the letter to IDRS; "Preview "
button will allow the user to view the letter content. Clicking the left mouse button on the letter next to the selective
paragraph will allow the user to preview the paragraph content in the bottom preview window.

Selective Paragraphs

Selective Enclosures

Selective Fill-ins: This section displays the "Selected Paragraphs"
, "Fill-in numbers"
, "Type"
. (This is the character requirements for the fill-in), "Description"
of the fill-in.

Type in Fill-in: This field is where the user inputs the fill-in requirements to the selected paragraphs.

Note:

The 99C letter will auto populate the amounts contained within the money amount screen.

Notes: This field gives guidance for valid fill-ins. This field also is used when an open paragraph is selected.

4.19.8.6.4
(04-01-2011)Entity Screen

The Entity screen stores the business name and address information. This information is downloaded from IDRS when the case
is created. If necessary, you may update the "address"
and "Care of Name"
fields only. Figure 4.19.8-29

Note:

Updating the address should only be done based on taxpayer correspondence or the letter was returned undeliverable and a better
address was located.

When the Entity screen tab is selected you will find the screen elements listed below:

Last Updated: This field will populate when a change has been made to the address information either by the user or systemically.

First Name Line: This is the name of the business when it was established.

Note:

The first four characters of the first name line create the name control in the detail header section.

Sort Name Line

Care of Name Line

Foreign Street Line: This line can only be updated if the user selects from the state drop down field the period as the two
digit state code.

Note:

When the period is selected as the state code, CAP will allow a foreign street address and after address will also rename
the street address line as foreign city and city line as foreign country.

Street Address Line

City Field

State Field

Zip Code Field

Note:

Any changes made to the care of name and/or address information will require the user to post the edit to store the update
in CAP.

4.19.8.6.5
(04-01-2011)W3 Screen

This screen provides W3/W2 information that was reported and processed by SSA. This screen will also display Forms 1099R and
Forms W-2G processed by the IRS. W-3/W-2 data can be ordered via the Online Retrieval System (ORS). Figure 4.19.8-30.

You will find the screen elements listed below.

Report Locator Number "RLN: "
The RLN is used as the filing number for the set of Form W3/W2 information on microfilm.

W-3 Money Detail Display: If you click a RLN the amounts reported on that set of Form W3/W2 will display in the window.

Forms W-2 Report: This is the amount of Forms W-2/W-2G/1099R's reported by taxpayer.

Forms W-2 Processed: This is the actual amount of Forms W-2 processed by SSA or the actual amount of Forms W-2G/1099R processed
by the IRS.

Document Code: Each type of information return document has its own document code.

Note:

To view actual W3/W2 information, the user needs to access the Online Retrieval System (ORS). Never attempt to order Document
Code Type 32 or 98 using the CAP system.

Employment type: See following table for Employment Type Definitions.

Correction Indicator: This field will show a " C"
if the information returns are corrected.

Problem Indicator: See following table for Problem Indicator Definitions.

W-3 Indicator: See the following table for W-3 Indicator Definitions.

X-ref EIN field: This field will populate when a cross reference EIN is provided in box "H"
of the Form W-3 processed by SSA.

Medicare Wages Altered Based on (Social Security) FICA Total Compensation

D

Duplicate Forms Deleted

F

Family Employment Items Deleted

G

Generated (Social Security) FICA Wages or Tips – (The employer did not enter (Social Security) FICA Wages or Tips. The SSA
used the (Social Security) FICA Tax Amounts to calculate and to generate the (Social Security) FICA Wage Amount shown on Form
W-3.)

H

More than One Code Applies (A, G, or U)

K

Process Apparent Dup Report (Deemed Non-dup)

L

Apparently Missing Forms

M

Social Security Wages Over Maximum

O

Establishment Optional Method

P

Illegible Forms

Q

Form W-3 Record but No Form W-2 Record

S

Split Report

U

Medicare Wages/Tips Generated

V

J.V. W-3 Record

W

Non-earned Household Earnings

X

SSA Corrected Name

W-3 Indicator

Definitions

D

Dummy Form W-3 (Original Form W-3 prepared by the SSA or Original Form 1096 prepared by the IRS.)

"Split"
- Dummy Form W-3 with Unique RLNs (The microfilm of this shipment of Forms W-2 is split between two or more reels of microfilm.)

U

Unallocated Tips and Wages

4.19.8.6.6
(04-01-2011)MFT & ADJ Screen

This screen displays the tax returns filed that create the 94X column display in the money amount screen. This screen cannot
be updated by the user. The MFT field shows the type of tax return filed. The table below shows the definitions of each MFT.

MFT

Definitions

01

941

05

1041 (Schedule H)

11

943

14

944

16

945

30

1040 (Schedule H)

MFT

Tax Periods filed

DLN (Document Locator Number)

Line Adjustment

Secondary SSN

Note:

Secondary SSN only applies to MFT 30.

Social Security Wages Reported

Social Security Tips Reported

Federal Income Tax Withheld Reported

Advanced Earned Income Credit Reported

Expansion Bar

Note:

The expansion bar indicates to the user that more information is viewable outside of the current window display. Clicking
on the arrows located at the end of the screen will expand the view. If the right arrow is clicked on the MFT & ADJ screen
the Medicare Wages Reported will become viewable next to the Advanced Earned Income Credit Reported. Figure 4.19.8-31

4.19.8.6.7
(04-01-2011)Form 6209 Screen

The Form 6209 is used to correct the amounts reported and processed on the Forms W-2 displayed in the money amount screen.
This screen is comprised of the main screen and a secondary input screen. The main screen displays any previous Form 6209
input by a tax examiners and the adjustments and their comments as to why the adjustment(s) were done. The secondary screen
is used to adjust W-2 information and is accessed by the pressing the "New"
button at the bottom of the main screen. You will find the screen elements listed below each of the screens. Figure 4.19.8-32

Note:

When a Form 6209 is processed in CAP the form is electronically forwarded to IDRS to update the Form W-2 amounts reported
on CC BMFOLU.

Created Date

Processed Date: This is the date the CAP processed the Form 6209.

Note:

Once a Form 6209 is processed it can not be deleted.

Posted Date: This is the date the Form 6209 posted to IDRS.

To EIN, To Tax Period, Form W–3 Indicator, Form W–2 Count, Correction, TE and Remark

Note:

These fields will leave a history based on the information input on the Form 6209.

New button: This button opens the Form 6209.

View Detail: A Form 6209 has to exist for this button to be accessed. This button will allow a user to view the information
input to a specific Form 6209.

Money Amounts: This button will open a box that displays the money amount screen totals.

Exception:

HIRE Exempt Wage fields for both the Form 94X and Forms W-2 an only be adjusted on the money screen.

When you select the "new"
button CAP will bring up the following screen. CAP will auto populate the EIN, Tax Period and Name Control from the case
information. All other fields of the Form 6209 require the user to supply the information to be adjusted. See Figure 4.19.8-33.

Transfer Forms W-3/W-2 Option: Selecting the transfer option will expand the Form 6209. The expanded fields will require the
x-reference EIN, tax period and name control. Figure 4.19.8-33

Note:

Use transfer Form W-3/W-2 option only when an entire set of W-3/W-2 need to be transferred to a different EIN.

Form W-2 Wage/Tax Fields: Increases to the fields are typed in as whole numbers. Always use a decimal point to the Wage/Tax
being adjusted. If the wage/tax amount needs to be decreased input a hyphen in front of the whole number.

Note:

The comma is not required to represent thousands. CAP will automatically place the comma.

Remarks Drop Down: This is a required field. This field gives the reason for the adjustments made with the Form 6209.

"Cancel"
button: This button will exit the Form 6209.

"Ok"
button: This button submits the Form 6209.

Money Amount: This button will display the amounts reported in the Money Amount Screen.

"Delete"
button: This button will allow a user to delete a Form 6209 record that has not been processed by CAP.

The below screen shows a Form 6209 adjusting the Social Security Wages, Federal Income Tax and Medicare Wages. The remarks
drop down will allow one the following reasons for the adjustments. See Figure 4.19.8-34.

After the creation of the Form 6209 it will leave a history of the Form 6209 screen and will display the adjustments in the
money amount screen. CAP will include the adjustments made on the Form 6209 in the Form W-2 figures processed and recalculate
the wages and tax using the adjustments.

Note:

Once the Form 6209 posts to IDRS the pending Form 6209 will be removed from the money amount screen and will permanently
update the Form W-2 information. Figure 4.19.8-35.

4.19.8.6.7.1
(04-01-2011)Form 6209 Transfer

When transferring a set of Form W-3/W-2 to a cross reference number select the "Transfer"
radio button. When the "Transfer"
radio button is selected the Form 6209 expands for the user to input the x-reference EIN, Tax Period and Name Control.
There are three main differences between a Form 6209 adjustment and a Form 6209 Form W-3/W-2 transfer. Figure 4.19.8-36

The differences are:

The To Case Information Section

The Magnifying Glass button: This button makes transferring sets of Forms W-3/W-2 very simple. By clicking on this button
CAP will display all the RLN's available to transfer. Using the left mouse button select the RLN to transfer. After selecting
the RLN, CAP will prompt the user "The inverse of the RLN will be copied (i.e., O minus msn_amt) except for AEIC credits"
and auto populated into the W-3 reported and W-2 processed fields. See Figure 4.19.8-37. CAP will auto populate the W-3 reported and W-2 processed fields; the W-3 indicator; Correction Indicator; and the Form W–2
count. See Figure 4.19.8-38.

After the creation of the Form 6209 transfer it will leave a history. CAP will include the adjustments made on the Form 6209
in the Form W-3 reported and Form W-2 figures processed and recalculate the wages and tax using the transfer information.
Figure 4.19.8-39

Note:

Any correspondence generated using CAP will use the updated information. Once the Form 6209 posts to IDRS the pending Form
6209 will be removed from the money amount screen and will permanently update the Form W-3/ W-2 information.